Barry Alan Goldstein

Aegis Capital CORP.

25 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningTax PlanningEstate Planning

Aegis Capital CORP.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

94 advisors

Number of Clients

1,733 clients

Average Client Portfolio

$826K average

Assets Under Management

$1.4B

Fee Structure

Location

1305 Walt Whitman Rd, Suite 120, Melville, NY, 11747

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

February 2018

Settled

Customer Dispute

July 2005

Closed-No Action

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Aegis Capital CORP.

June 2023 - Present · 2 yrs 8 mos

Aegis Capital CORP.Broker

February 2010 - Present · 16 yrs

Previous Registrations

Gunnallen Financial, INCBroker

October 2002 - March 2010 · 7 yrs 5 mos

Continental Broker-Dealer CORP.Broker

January 2002 - November 2002 · 10 mos

Continental Broker-Dealer CORP.Broker

April 2001 - November 2001 · 7 mos

Seaboard Securities, INC.Broker

October 2000 - May 2001 · 7 mos

State Registrations25 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.